Irrigation Infrastructure Quality Management System Toolkit for Sub-Saharan Africa Using Ethiopia, Kenya and Uganda as a Case Study Technical Report Habtamu Hailu, Yesuf Abdella, Abdulkarim Seid and Amare Haileslassie International Water Management Institute (IWMI) Irrigation Infrastructure Quality Management System Toolkit for Sub-Saharan Africa Using Ethiopia, Kenya and Uganda as a Case Study Technical Report Habtamu Hailu, Yesuf Abdella, Abdulkarim Seid and Amare Haileslassie iv iii The authors: Habtamu Hailu, Associate Professor of Water Resources & Irrigation Engineering, Addis Ababa Science & Technology University Yesuf Abdella, Irrigation and Rural Infrastructure Engineer, Food and Agriculture Organization of the United Nations (FAO) Investment Centre, Nairobi, Kenya Abdulkarim Seid, Country Representative - Ethiopia, International Water Management Institute (IWMI), Addis Ababa, Ethiopia Amare Haileslassie, Principal Researcher - Agricultural Water Management, IWMI, Addis Ababa, Ethiopia Hailu, H.; Abdella, Y.; Seid, A.; Haileslassie, A. 2024. Irrigation infrastructure quality management system toolkit for Sub- Saharan Africa using Ethiopia, Kenya and Uganda as a case study: technical report. Colombo, Sri Lanka: International Water Management Institute (IWMI). 27p. doi: https://doi.org/10.5337/2024.221 / small-scale irrigation / irrigation development / infrastructure / quality assurance / quality control / toolkits / case studies / quality standards / projects / planning / guidelines / frameworks / contracts / regulations / stakeholders / capacity development / institutional reform / Africa South of Sahara / Ethiopia / Kenya / Uganda / ISBN 978-92-9090-967-5 Disclaimer: This publication has been prepared with care. Responsibility for opinions expressed and any possible errors lies with the authors and not the institutions involved. Copyright © 2024, by IWMI. All rights reserved. IWMI encourages the use of its material provided that the organization is acknowledged and kept informed in all such instances. Cover photo: Irrigation soil moisture monitoring technique and scheduling in Koga irrigation scheme, Ethiopia. (Photo: Amare Haileslassie/IWMI) For further information or inquiries, contact Yesuf Abdella (Yesuf.Abdella@fao.org) To download soft copies of the QMS Toolkit, visit https://qmskit.iwmi.org/ iv iii Irrigation Infrastructure Quality Management System Toolkit for Sub-Saharan Africa Using Ethiopia, Kenya and Uganda as a Case Study: Technical Report Acknowledgments The authors appreciate the guidance and support provided by Alberta Mascaretti (retired Service Chief, FAO FCI East and Southern Africa) and Giovanni Munoz (Chief, FAO FCI East and Southern Africa) throughout the preparation of this volume. The authors are grateful to Amerga Kearsie Dererro (Irrigation Engineer, Ministry of Agriculture, Addis Ababa, Ethiopia), Minyahel Gebeyaw (Irrigation Engineer, Ministry of Irrigation and Lowlands, Addis Ababa, Ethiopia), Dominic B. Mucunguzi (Ministry of Agriculture, Animal Industry and Fisheries, Entebbe, Uganda) and Maurice Opondo (State Department for Irrigation, Nairobi, Kenya) for their effective coordination of stakeholder consultations, field visits and training programs in their respective countries and for providing comments on the initial versions of this publication. The authors also thank Ismail Oudra (Senior Irrigation and Rural Infrastructure Engineer, Food and Agriculture Organization of the United Nations [FAO], Investment Center Divison, Rome), Hussien Kebede (National Climate Smart Agriculture Consultant, FAO, Ethiopia) and Abdo Shaka (National Irrigation Specialist, FAO, Ethiopia) for their critical review of the initial draft of this volume. Project This research study was conducted as part of the project titled Irrigation Infrastructure Quality Management System Toolkit for Sub- Saharan Africa using Ethiopia, Kenya and Uganda as a Case Study, implemented by the International Water Management Institute (IWMI) and funded by the Food and Agriculture Organization of the United Nations (FAO). Collaborators International Water Management Institute (IWMI) Ministry of Agriculture, Addis Ababa, Ethiopia Ministry of Irrigation and Lowlands, Addis Ababa, Ethiopia Ministry of Agriculture, Animal Industry and Fisheries, Entebbe, Uganda Ministry of Water, Sanitation and Irrigation, Nairobi, Kenya Donors Food and Agriculture Organization of the United Nations (FAO), Rome, Italy The FAO Investment Centre works to find the right combination of policies, innovations and public and private investment that promotes inclusive economic growth, better diets and nutrition, greater equity, and greater climate resilience. It provides a full suite of investment support services to FAO Member states, working in over 120 countries while partnering with governments, international financial institutions (IFIs), national and international organizations, the private sector, research institutions, academia, and producer organizations to help countries achieve lasting impact at scale. The editing and layout of this report was funded by the CGIAR Initiative on Diversification in East and Southern Africa (https://www.cgiar.org/initiative/ diversification-in-esa/), which is grateful for the support of CGIAR Trust Fund contributors (www.cgiar.org/funders). iv v iv v Irrigation Infrastructure Quality Management System Toolkit for Sub-Saharan Africa Using Ethiopia, Kenya and Uganda as a Case Study: Technical Report Contents Summary ....................................................................................................................... vii 1.Introduction ...................................................................................................................1 1.1 Background ................................................................................................................ 1 1.2 Objectives of Toolkit Development ................................................................................. 2 2. Approaches .................................................................................................................. 3 2.1 Conceptualization ....................................................................................................... 3 2.2 Launching the Toolkit Development Project .................................................................... 3 2.3 Literature Review and Global Experiences ...................................................................... 3 2.4 Focal Person Assignment by the Selected Countries ........................................................6 2.5 Stakeholder Consultations ...........................................................................................6 2.6 Field Visits and Focus Group Discussions ....................................................................... 7 3. Outputs ....................................................................................................................... 8 3.1 The QMS Toolkit Guidelines ........................................................................................... 8 3.2 Toolkit Parameter Checklists ........................................................................................ 8 3.3 Webpage Development and Access to Users ................................................................. 10 3.4 Capacity Building ...................................................................................................... 10 4. Message to Users ......................................................................................................... 11 References...................................................................................................................... 12 Appendix A. List of People Who Participated in the Focus Group Discussion during the Uganda Visit ..................................................................................................................14 Appendix B. List of People Who Participated in the Focus Group Discussion during the Kenya Visit ..................................................................................................................... 15 Appendix C. List of People Who Participated in the Focus Group Discussions during the Ethiopia Visit .................................................................................................................16 Appendix D. Project Development Phases, Stages, Components and Subcomponents ...........18 vi vii vi vii Irrigation Infrastructure Quality Management System Toolkit for Sub-Saharan Africa Using Ethiopia, Kenya and Uganda as a Case Study: Technical Report Summary Sub-Saharan African (SSA) countries have identified small-scale irrigation development as a priority to ensure food security and improve agricultural production. However, they have encountered challenges related to inadequate planning, study, design and inferior-quality construction of irrigation infrastructure. To bridge these quality gaps, the concept of developing a quality management system (QMS) toolkit was initiated by the Food and Agriculture Organization of the United Nations (FAO) in collaboration with the International Water Management Institute (IWMI). The objective of the toolkit is to establish a management framework that directs and controls small-scale irrigation development processes in SSA as per contractual requirements, quality standards and governing regulations to ensure quality outputs in all development phases. Ethiopia, Kenya and Uganda were chosen as focal countries. Two approaches were employed to develop the toolkit. A literature review on quality management practices in irrigation development within the focal countries and global experiences was conducted to learn lessons and identify parameters that have key roles in quality management practices. This was followed by case studies and analyses of irrigation development practices in each focal country through stakeholder consultations, project site observations and focus group discussions. Based on the findings, a toolkit with a comprehensive set of guidelines, checklists, templates and resources was developed. The toolkit is presented in two volumes. Volume I is the toolkit guidelines, which cover the goals and scope of the toolkit along with details of the approaches employed and the findings from the development process. It also presents the proposed checklists, tools, templates and forms. It briefly explains how to use them to conduct quality management in small-scale irrigation project (SSIP) development. Volume II includes the key parameters and to-do lists segregated by development phases, stages, components and subcomponents of the SSIP development process. It also includes proposed institutional arrangements for implementing the QMS initiative by the focal countries. Furthermore, a user-friendly webpage was developed to allow for quick access to various additional open-source resources, including guidelines, standards and best practices. The toolkit aims to help governments and other implementers introduce an effective quality management system in the irrigation development process adapted to country-specific irrigation regulations and standards. For effective implementation of the toolkit, the commitment of the implementing organizations, institutionalizing quality management in project development and regular capacity building of implementing agents are recommended. viii 1 viii 1 Irrigation Infrastructure Quality Management System Toolkit for Sub-Saharan Africa Using Ethiopia, Kenya and Uganda as a Case Study: Technical Report 1. Introduction 1.1 Background Rainfed agriculture is the leading source of food production in Africa. However, productivity is below its attainable potential as it is increasingly challenged by moisture stress due to inadequate and erratic rainfall and prolonged dry spells. This is particularly pronounced in Sub-Saharan African (SSA) countries whose agricultural practices are affected by the compound effects of rapid population growth, climate change and rainfall variability (AU 2020; Moges and Bhat 2021). As a result, food insecurity has long been a major concern in these countries. Irrigation supports sustainable agricultural production and mitigates the impacts of climate change and rainfall deficits. More than 40% of global agricultural production comes from irrigated agriculture, covering nearly 20% of global arable land (FAO 2018; Gebul 2021). Developed countries take the major share of this area and production. Developing countries such as those in SSA often identify irrigation as a vehicle for development and a key to ensuring food security but they have under-exploited their irrigation potential (Wanyama et al. 2017). Only 4% (6 million hectares) of the region’s cultivated area is irrigated compared to 37% in Asia and 14% in Latin America (ICBA 2021). Owing to its significant impact on food security, many SSA countries have focused on the improvement of smallholder agriculture development (Jambo et al. 2021). They have implemented various small-scale irrigation projects (SSIPs) with technical and financial support from development partners such as the World Bank, the International Fund for Agricultural Development and the African Development Bank. Despite the substantial investment in irrigation infrastructure development, the implementation suffers from quality challenges due to inadequate planning, improper study, design and inferior construction. Irrigation projects are often developed without an independent due diligence quality management process. As a result, costly and delayed implementation with poor and unsafe outputs has become a characteristic of irrigation infrastructure development in SSA (Berhe et al. 2022). The lack of quality in irrigation projects in SSA has become a concern. To curb existing and potential problems, irrigation projects should move forward with quality assurance and quality control at the pre-construction, construction and post- construction phases. The Food and Agriculture Organization of the United Nations (FAO) recognized the challenges and initiated the development of a quality management system toolkit for voluntary use, partnering with the International Water Management Institute (IWMI). For the initial toolkit implementation, three countries in the region (Ethiopia, Kenya and Uganda) were chosen as focal countries. The project was launched at a meeting with irrigation practitioners from the three participating countries and representatives from FAO, IWMI, and the Intergovernmental Authority on Development (IGAD) to establish a link between stakeholders and create a common understanding of the QMS. A literature review and case studies in the focal countries were chosen as the methods for toolkit development. The literature review focused on quality assurance and quality control practices in irrigation development in the focal countries and global experiences to derive lessons and identify project phases and key parameters that have a role in quality management practices. This was followed by case studies and analyses of irrigation development practices in each focal country through stakeholder consultations, field-level project site observations and focus group discussions. This helped to identify additional parameters, evaluate their importance to the focal countries’ context and reach a consensus on those parameters to be included in the toolkit. Based on the findings from the literature review and case studies, a toolkit was prepared for voluntary use in SSA countries. The toolkit includes a comprehensive set of guidelines, checklists, tools, forms, templates and resources to help governments and other implementing organizations introduce an effective QMS in the irrigation development process in compliance with country-specific irrigation regulations and standards. The QMS toolkit comprises two volumes: Volume I (QMS toolkit guidelines) and Volume II (QMS toolkit parameter checklists). Volume I covers the reasoning for developing a toolkit, its goals and its scope. It provides the methods used and findings during development. As a guide for the user, it presents the required checklists, tools, templates and forms and briefly explains how to use them. Volume II includes the key parameters and to-do lists (activities) segregated by development phases, stages, components and subcomponents of the development process. Volume II has two annexes: Annex I (Forms and templates for Phase I and Phase II of SSIP development) and Annex II (Forms and templates for Phase III). The forms and templates guide users to develop project-specific manuals relevant to each phase, stage and component of the QMS implementation process. 2 3 Irrigation Infrastructure Quality Management System Toolkit for Sub-Saharan Africa Using Ethiopia, Kenya and Uganda as a Case Study: Technical Report It is believed that proper implementation of the toolkit along with the development phases of SSIPs will foster efficiency, increase responsibility and accountability, enhance quality and safety, reduce cost overruns, contribute to timely implementation, nurture sustainability and ensure satisfaction to meet expected goals. 1.2 Objectives of Toolkit Development 1.2.1 Main objective The main objective of developing the toolkit is to establish a management framework that directs and controls SSIP development in SSA systematically and transparently, following contractual requirements, quality standards and governing regulations to ensure high-quality outputs in all development phases. 1.2.2 Specific objectives Specifically, the toolkit was developed to: • Standardize parameters, attributes, workflow and templates used in the study, design and construction phases of SSIPs. • Establish a proper quality management system in all project development phases. • Establish effective linkages between activities at all project development phases and stages. • Set a framework for program- and project-specific quality assurance and quality control procedures by the implementing agencies, professionals and consultants at all levels. 1.2.3 Scope The toolkit was developed to address the quality-related challenges of implementing SSIPs in SSA countries. It is designed to improve quality assurance and quality control within the development processes of SSIPs in these countries for a command area of up to 500 hectares (ha). This limit is set considering the significant potential and role of small- scale irrigation in SSA countries, and to minimize the level of detail required to prepare the toolkit. However, due to irrigation typology differences among the countries in the region, the scale of use may vary from country to country. For instance, small-scale irrigation projects in Ethiopia have an area less than or equal to 200 ha and medium-scale irrigation projects cover an area between 200 ha and 3,000 ha. In Kenya, small-scale irrigation projects are defined as those covering less than or equal to 40 ha. Projects of 40 ha to 1,210 ha are regarded as medium-scale projects. Hence, the scope of the toolkit in Ethiopia and Kenya may also be extended to medium-scale projects up to a command area of 500 ha. In Uganda, irrigation projects less than or equal to 100 ha are considered small-scale and those ranging from 100 ha to 500 ha are considered medium-scale. The toolkit for Uganda can be fully applied to small- and medium-scale projects. Unless the projects are complex enough to include such aspects as hydropower and mega-dams, the toolkit can also be used cautiously for medium- and large-scale projects, as most irrigation design parameters are not affected by the scale of development. The toolkit is designed for use by all practitioners and institutions involved in the development of irrigated agriculture projects in SSA countries, including ministries, bureaus and offices undertaking irrigated agriculture development, consulting firms, contractors, nongovernmental organizations, water professionals, development agents, extension officers and water user associations. The toolkit is a reference tool with checklists that can be customized for specific irrigation project planning and implementation based on site-specific requirements by aligning with relevant guidelines, standards, specifications and manuals. It is a quality management framework that works along with national standards, design guidelines and manuals. The toolkit does not cover the post-construction or the operation and maintenance phases. 2 3 Irrigation Infrastructure Quality Management System Toolkit for Sub-Saharan Africa Using Ethiopia, Kenya and Uganda as a Case Study: Technical Report 2. Approaches 2.1. Conceptualization Irrigation development comprises a broad scope of work, from planning a program and project identification to feasibility studies, detailed design, and project implementation and operation and maintenance phases. The development process also encompasses complex, multidimensional undertakings, demanding comprehensive procedures and the involvement of multiple disciplines. To ensure that a project is kept within scope, on schedule, within budget, and has an exit strategy, quality assurance and control systems are required in all phases of the development process. To manage the quality of irrigation development across the development phases, it is imperative to understand what quality is anticipated and how it relates to the specific project. In the context of irrigation development, the definition of quality is understood to be in line with well-defined national goals and the specific requirements of the target beneficiaries at each phase of the project. By the end of the project development process, this level of understanding ensures the beneficiaries have a sense of ownership and that the project implementation exceeds their minimum requirements. 2.2 Launching the Toolkit Development Project With IWMI coordinating and leading the project, FAO initiated the toolkit development to help implementing agencies in SSA countries develop improved small-scale irrigation investment projects. The project was launched at a meeting with irrigation practitioners from the three participating countries (Ethiopia, Kenya and Uganda) and representatives from FAO, IWMI and IGAD. More than 85 participants attended the meeting. The objectives were to officially start the project, establish links between stakeholders, identify a focal person from each pilot country and create a common understanding of a QMS in the project context. The meeting commenced with the introduction of the project, which was followed by three presentations focusing on: • the need for improved irrigation quality management in SSA, • an introduction to the quality management improvement initiative and objectives of the meeting, and • a detailed assignment description with timelines. Following the presentations, a discussion was convened on several issues raised by the participants. The discussion issues included: • scope of the toolkit and its scale of applicability, • applicability of the toolkit across the SSA countries with varying typologies for irrigation projects, • end-users of the toolkit and its accessibility, and • adoption of the toolkit by the governments and other stakeholders in SSA countries. 2.3 Literature Review and Global Experiences A review was conducted on quality issues in the planning, design and construction of irrigation projects in particular and other construction sectors in general. The experiences of the focal countries related to toolkit development and other global experiences were considered in the review. The review included irrigation policies and strategies, publicly available guidelines, manuals, terms of reference and technical proposals. The purpose of the review was to learn lessons from both poor-performing and successful projects and identify basic QMS parameters required in the development of SSIPs. The number of QMS guidelines, toolkits and manuals for the planning and design of construction projects in general and irrigation infrastructure work in particular is limited. More common are those for building construction, road projects and industry products. One option used in the preparation of the toolkit was to adopt such practices as appropriate and adjust them for SSIP development. The major reviews and the lessons learned are outlined below. 4 5 Irrigation Infrastructure Quality Management System Toolkit for Sub-Saharan Africa Using Ethiopia, Kenya and Uganda as a Case Study: Technical Report Global experiences Rumane (2017) has described the science of construction project quality and quality management system procedures. Othman and Zaid (2007) also report on the requirements for delivering successful construction projects. They define success in terms of the ‘golden triangle’ of project management: time, cost and quality, and the stakeholders’ satisfaction. The study lists nine factors as a to-do list for project managers to ensure successful closure of project construction. These lessons were used to prepare the QMS guidelines and process the toolkit for the construction phase of SSIP development work. A notable example of irrigation projects is the review made by the Asian Development Bank on irrigation and drainage projects in 18 developing member countries which were supported by the Bank from 1969 to 1988 (Morales and Mongcopa 2008). The review reports the lessons learned from both successful and unsuccessful projects. The major factors that contribute to the high performance of successful projects include good quality at entry (the quality of the feasibility study and project design, the incorporation of lessons from prior projects and the level of stakeholder participation) and effective quality control systems for civil works. The factors that typically contribute to low project performance or partly successful and unsuccessful irrigation and drainage projects include inadequate project design, project complexity, complex institutional structures involving weak institutions, inadequate beneficiary consultation during the design phase, ineffective irrigation water user associations (IWUAs) and poor operation and maintenance (O&M). The lessons from this review helped to identify many parameters for toolkit development. Guldekar and Ranit (2016) evaluate quality management in irrigation projects. The study takes seven projects and identifies the factors that contribute to the delay in construction and consequently affect quality management. A total of 42 factors are identified and their relative importance is ranked using the Relative Importance Index. The lessons learned from this work for the current toolkit were not limited to the identification of QMS parameters but extended to the methodology used for ranking the impact of parameters on quality outputs. From the review of global experiences, many QMS parameters that typically contributed to low project performance were identified, including (i) inadequate project design; (ii) project complexity; (iii) complex institutional structures involving weak institutions; (iv) inadequate beneficiary consultation during inception, feasibility study and detailed design stages; (v) inadequate involvement and participation of IWUAs in the quality control of project construction; (vi) limited capacity of contractors both in terms of human resources and capital; (vii) limited capacity of supervising agents including supervising consulting firms, IWUA quality control committees and public agents; (viii) ineffective IWUAs; (ix) poor O&M; and (x) adverse impact of external factors. These factors and parameters are considered in the current QMS toolkit. Focal country experiences Ethiopia Ethiopia has given special attention to the irrigation sector. To guide the sector, the country has drafted an irrigation policy and strategy for all levels of irrigation development (MoWR 2001a; MoWR 2001b; MoA and MoWIE 2019). To ensure the effective execution of irrigation projects, the policy promotes the use of standards, codes of practice, national guidelines and manuals for the planning, study, design, construction, operation and management of irrigation projects. However, there is no enforcement of policies or strategies due to the absence of national standards and codes of practice specific to irrigated agriculture. Additional issues include the lack of comprehensiveness of the available national guidelines and manuals, weak institutional arrangements and limited technical capacity. Irrigation development projects are typically planned and designed using guidelines and procedures that originate from several sources and without a formalized quality review process. The Japan International Cooperation Agency (JICA) and the Oromia Irrigation Development Authority (OIDA) have developed a construction control manual that summarizes the basic construction controlling mechanisms for items such as excavation work, headwork and canal construction in irrigation projects (JICA and OIDA 2014). This manual has specifically been prepared for SSIP construction phase control mechanisms based on case studies of existing projects in the Oromia Regional State, Ethiopia. The manual enumerates checklists for the activities that should be performed by the supervisor. More importantly, the manual elucidates and tabulates the various quality assurance (QA) and quality control (QC) procedures and activities. Despite its limited focus on QA, it is one of the best practices from which lessons are drawn to develop the current toolkit. The other notably known manuals in Ethiopia related to quality control in construction projects are those developed by the Ethiopian Road Authority (ERA), which are specifically used for the design and construction of road projects. ERA (2012) has quality manuals that are designed to serve as a QMS processing toolkit with checklists and templates that 4 5 Irrigation Infrastructure Quality Management System Toolkit for Sub-Saharan Africa Using Ethiopia, Kenya and Uganda as a Case Study: Technical Report guide consulting firms on how to implement QMS procedures during the feasibility, study and design phases. As the QMS parameters used in the manuals are contextually similar to those used in irrigation infrastructure development, the current toolkit has adopted relevant parameters from the ERA manuals. The most recent guidelines for small-scale irrigation development in Ethiopia are produced by the Ministry of Agriculture (MoA 2018). The guidelines comprise 34 volumes encompassing guidance and methodologies for the planning, design, implementation, and operation and maintenance of SSIPs. According to the guidelines, there are four development phases for SSIPs: i) the planning and design phase; ii) the detailed study and design phase; iii) the implementation/ construction phase and iv) the operation and maintenance phase. The 34 volumes offer standards, guidelines, checklists and manuals for the project components of SSIPs in the Ethiopian context. These have served as the basis for the preparation of the current toolkit. In general, there are limited experiences with the implementation of a QMS in irrigation projects in Ethiopia. Particularly, QMS implementation at the planning and design phase of project development is almost absent. The planning and design phase proposal document is largely prepared by federal-level public agents and multilateral funding organizations such as the World Bank, the International Fund for Agricultural Development (IFAD) and others based on their criteria. These criteria are used as QA mechanisms during the proposal preparation, and they are again used as quality control mechanisms during the proposal evaluation. To assist in the implementation of QA and QC procedures and activities during the detailed study and design phase, the Ministry of Agriculture has developed generic guidelines for the development of SSIPs. The activities and standards enumerated in these guidelines, albeit not exhaustive, serve as QA and QC mechanisms. At the implementation/construction phase, quality management is performed employing the tri- party system (client, contractor and supervisor). As the designing and supervising agents are different in most cases, the implementation of QA and QC procedures is inferior and coordination within the tri-party system is relatively weak. As a result, technical specifications and technical design requirements are usually compromised. Kenya Kenya has recognized irrigation development as an important factor for the transformation and growth of agriculture (MoWSI 2019; MoWSI 2020). The country has drafted a national irrigation policy and strategy that propose institutional arrangements at various levels with the establishment of a regulatory unit within the government that is responsible for monitoring irrigation development in the country (MoWSI 2017; MoWSI 2022). However, the regulatory body is not strong enough to guarantee the sustainable development of irrigation projects. One of the most notable projects on small-scale irrigation development in Kenya is the Sustainable Smallholder Irrigation Development and Management in Semi-Arid Lands Project (SIDEMAN-SAL), which was started in the 1990s with a bilateral agreement between the Government of Kenya and JICA (JICA and Nippon Koei 2016). The objective of the SIDEMAN-SAL project was to come up with strategies to promote sustainable community-based smallholder irrigation development. Based on this objective, several other successive projects have since been implemented. As part of the project, a document was prepared that constitutes the study, design and implementation process of SSIPs in Kenya. Quality management services, especially during the construction phase, were part of project implementation. The content of the guidance material included work stages, inspection methods and inspection items that largely referred to the technical specifications of a particular project. The QMS procedure was tabulated and a flowchart for each quality control and inspection activity was developed. QMS services during the construction phase were given due emphasis and remarkable QA and QC procedures and activities were practiced. However, little or almost no attention was given to QA and QC procedures during the study and design phase of SSIP development work. The SIDEMAN-SAL project document has been helpful in the preparation of the current QMS guidelines and toolkit in terms of identifying basic QMS parameters and procedures. Uganda Uganda has drafted a national irrigation policy to serve as the overarching instrument for regulating irrigation development in the country (MAAIF and MoWE 2017). It is meant to create an enabling framework for a clearer system with streamlined services and processes for irrigation promotion, improve technical information sharing and simplify decision-making. One policy priority area is to ensure irrigation planning and development is technically feasible, economically viable, socially desirable and environmentally sustainable. Despite such efforts, there is no strong regulatory body that controls the quality of the execution of irrigation projects in the country. Generally, it was not possible to find literature in the public domain related to the experiences of QMS practices in SSIP development processes in Uganda. One available resource to mention is a document prepared by the government to support bankable investment projects for smallholder irrigation development and water harvesting (GoRU 2004). This document stipulates an appraisal made by the government for the preparation of a proposal for financing, but it does not 6 7 Irrigation Infrastructure Quality Management System Toolkit for Sub-Saharan Africa Using Ethiopia, Kenya and Uganda as a Case Study: Technical Report consider the technical aspects of implementing projects. The other resource is a technical guideline prepared for small gravity irrigation projects (MAAIF 2020). The guideline deals with issues such as site survey and mapping principles, water and soil assessments, production and market assessments and organization, land access and tenure structure surveys and conceptual design aspects of small gravity irrigation projects. However, the guideline is shallow in its content and deals only with general concepts of SSIP development. In both the above two documents, nothing is mentioned about QMS practices. Experiences from other SSA countries A manual on participatory rapid diagnosis and action planning for irrigated agricultural systems (PRDA) is available (van der Schans and Lempérière 2006). This manual was prepared for the Nile Basin and Eastern African countries. It explains how to carry out PRDA on SSIPs, which are fully managed by farmers and cover both office-level and field-level activities. This manual is mainly targeting activities and processes in the O&M phase. Though the O&M phase is not within the scope of the current toolkit, some important aspects such as project appraisal, community participation and farmers’ training included in the manual are highly related to the first three phases (planning and design phase, detailed study and design phase and implementation/construction phase). Field et al. (1998) has prepared a checklist to assist in the preparation of small-scale irrigation projects in Sub-Saharan Africa. It is a general guideline comprised of checklists that focus on (i) project proposal, (ii) preparatory data sheet, (iii) field data sheet, and (iv) checklist summary. In each item, a separate template is prepared to guide the data collection and project preparation processes. In this checklist, emphasis is given to the demand-driven approach of project preparation procedures. Community participation is emphasized not only in project preparation and development phases, but due emphasis is also given to contributions for investment costs. The document gives guidance and provides checklists for the technical study and design work of SSIPs, which has informed the current toolkit development. Van Reeuwijk and Houba (1998) provide guidelines for quality management in soil and plant laboratories. The manual outlines the basic definitions of quality, quality management, quality assurance and quality control. It also describes procedures and steps that need to be performed to acquire high-quality products and services. The manual emphasizes the need for unambiguous standard operating procedures for a quality management system to ensure high quality. The importance of organizational setups and the existence of proper facilities in the implementation of quality systems is also discussed in the manual. Though this manual is tailored specifically to soil and plant laboratory quality systems, important lessons can be derived in identifying possible QMS parameters related to soil laboratory requirements of SSIP development work. In summary, the review of documents in the focal and other SSA countries showed similar features as in global experiences. It was observed that quality assurance and control mechanisms, particularly for the planning and design phase and the detailed study and design phase are almost absent, which justifies the need for developing a QMS toolkit that covers all phases of SSIP development. 2.4 Focal Person Assignment by the Selected Countries The toolkit development project was undertaken based on case studies in three pilot countries (Ethiopia, Kenya and Uganda). The importance of assigning focal persons from the three countries to facilitate the execution of the project, including data collection, document gathering and arrangement of field visits and stakeholder consultations, was unanimously agreed upon during the project’s commencement meeting. Accordingly, a focal person from each country was assigned through official communication made by the project leader (IWMI) with the concerned ministries of the respective focal countries. The Ministry of Agriculture of Ethiopia, the Ministry of Water, Sanitation and Irrigation of Kenya and the Ministry of Agriculture, Animal Industry and Fisheries of Uganda were contacted. 2.5 Stakeholder Consultations After the focal persons were assigned, stakeholders who are involved in the development of SSIPs in each focal country were identified and links were established for communication. The project team then traveled to each focal country. The objectives were to meet stakeholders and introduce the project, better understand the status of and interest in quality management systems in the focal countries, make field visits to selected irrigation projects and gather available information on irrigation infrastructure development, including strategies, policies and guidelines. 6 7 Irrigation Infrastructure Quality Management System Toolkit for Sub-Saharan Africa Using Ethiopia, Kenya and Uganda as a Case Study: Technical Report The project team conducted consultation meetings with stakeholders during their travels to each country. In the consultation meetings, subject matter specialists, country-level representatives and heads of the various institutions represented their respective organizations and institutions (Appendices A, B, C). The project team gave a briefing on the toolkit, including its need, objectives, scope, overall process of development, expected outputs and deliverables. The team also introduced three data collection forms (designated as Form I, Form II and Form III), which were proposed as stocktaking tools to understand the country-specific quality management baseline situation and challenges and establish a common base to develop the toolkit. These are: • Form I: List of all proposed parameters that help in conducting initial case studies and establishing consensus on SSIP development phases and stages and the respective components and subcomponents. • Form II: List of possible parameters across the project planning and design, detailed study and design, and implementation/construction phases to rank their relative importance to activities. • Form III: List of significant parameters that cause delays in project implementation, which was segregated based on the perspectives of implementing agents, consultants, designers and contractors. The proposed parameters and checklists for each data collection form were presented and explanations were given on how to include more lists and rank and review them. Following the introduction of the QMS project and briefings on the proposed forms, a thorough discussion was held on several issues. The discussion points focused on the attributes of irrigation typology, the challenge of QMS implementation across the focal countries and the scope of a QMS. All agreed to be accounted for in the current toolkit. After the discussion, three criteria were established for participants to select for each proposed parameter and checklist in Form I. The three criteria were Available and Accepted, Unavailable and Accepted, and Unavailable and Rejected. After some terminology adjustments, Form I was unanimously accepted and endorsed by all participants. Accordingly, the SSIP development process is designed to have three phases (Phase I, Phase II and Phase III). The phases have 9 stages, 44 components and 18 subcomponents, totaling 74 parameters (Appendix D). After a consensus was reached on Form I, participants were asked to identify important parameters having a significant influence on the quality of SSIPs at each phase and stage of the development process based on a five-point ranking scale (most important, very important, important, less important and not important). Participants’ responses to the level of impact of each parameter in Form I were analyzed using a Relative Importance Index. Based on the analysis, parameters with first-, second- and third-order impacts were identified from the three development phases. The level of impact of the parameters in different phases varied for each focal country (Volume I). The parameters related to construction delays were further identified through the literature review and were arranged into six thematic categories: (i) implementing agents and owners, (ii) financial planning and scheduling, (iii) contractual relationships, (v) government regulations, and (vi) unforeseen conditions. All these thematically categorized parameters were evaluated against the five-point ranking scale stated above to understand the relative importance of each parameter to activities of SSIP construction quality. The parameters were ranked by the three agents having the most important involvement in the construction of irrigation projects (the implementing agents, consultants and contractors). Finally, a consensus was reached on the relative importance of the parameters under the project implementation/ construction phase (Form III) (Volume I). 2.6 Field Visits and Focus Group Discussions Field visits were conducted at nine selected irrigation projects: four projects in Ethiopia (three small-scale and one medium-scale), three projects in Kenya (all medium-scale) and two projects in Uganda (both large-scale). Of these nine projects, the medium-scale project in Ethiopia is under construction and one small-scale project is near completion. The remaining seven are old projects with infrastructure in need of high maintenance. During the field visits, focus group discussions were held with the project managers, extension officers, water user association committees of the respective projects and representatives of beneficiaries. The group discussions focused on quality-related issues such as the project implementation process, including (i) study and design phases; (ii) efforts to ensure quality design and construction, including the existence of any QMS-related activities and entities during the project development process; (iii) the involvement of the IWUA committee in project activities; and (iv) the availability of full design and implementation documents such as interim evaluation reports, as-built drawings, exit strategy documents, completion reports and O&M manuals. 8 9 Irrigation Infrastructure Quality Management System Toolkit for Sub-Saharan Africa Using Ethiopia, Kenya and Uganda as a Case Study: Technical Report The following are the key lessons learned from the field visits and focus group discussions: • Farmers’ participation in irrigation development across all phases of the development process is almost absent. IWUAs are weak or almost nonexistent. • There is an absence or incompleteness of major irrigation infrastructure such as head regulators, silt excluders and discharge measuring units. • Study and design of projects are incomplete due to a lack of established study, design, construction supervision and project implementation guidelines as well as a lack of enforcement of policy coupled with the low technical capacity of the working team in all the implementing government and private agencies, institutions and firms. • The depth of investigations is shallow and the quality of studies and design activities for the respective components in each project is poor. • Policies and strategies to strengthen the public irrigation institutions, IWUAs and cooperatives to be responsible for water management and O&M of the SSIPs are often available but the enforcement is weak. • Cost overruns occur due to overdesign before contracting and avoidable delays during construction. • Feasibility studies and design phases are insufficient to identify possible alternatives while investment costs remain a challenging issue. • QMS activities are not adequately institutionalized within the existing systems of the respective SSA countries. • There is a high demand for a quality control and assurance system that is simple and presents easy steps to follow during the project development process. 3. Outputs The overall purpose of this project was to develop a QMS toolkit for quality assurance and quality control of SSIP development in SSA countries, make it user-friendly and easily accessible to end users and train key stakeholders on its effective use. The following are the final outputs from the QMS development project: • The toolkit guidelines • The QMS parameter checklists • Webpage development and creating access for users • Capacity building 3.1 The QMS Toolkit Guidelines Volume I introduces resources and tools which can assist end users to implement and maintain an effective QMS in the process of SSIP development. The guidelines state the objective, scope, and organization and defines important terms. It also defines the different forms of irrigation typology in the three focal countries and provides a summary of the approach, methods employed and important findings. The guidelines present (i) the three irrigation development phases, stages, components and subcomponents included in the toolkit (Appendix B); (ii) the relative importance of parameters in each phase of development; and (iii) lists those parameters responsible for construction delays from the perspective of implementing agents (clients, contractors and consultants). As a guide for users, it indicates the required checklists, tools, templates and forms in the toolkit and briefly explains how to use them. 3.2 Toolkit Parameter Checklists The Toolkit Parameter Checklist is a document with a list of parameters segregated by SSIP development phases and stages, and parameters established for each component and subcomponent of the SSIP development process. The parameters are the various to-do lists and procedures that aid in streamlining quality management review processes in the development of SSIPs. 8 9 Irrigation Infrastructure Quality Management System Toolkit for Sub-Saharan Africa Using Ethiopia, Kenya and Uganda as a Case Study: Technical Report By using the checklists, irrigation implementing agencies and organizations can ensure that each task is completed correctly and in compliance with established procedures, guidelines, methodologies, standards, technical specifications and governing terms of reference. In doing so, consistency of operations is promoted and continual quality improvement is facilitated. The toolkit parameter checklists also serve as risk management tools by providing a mechanism to identify defects or hazards associated with specific project development processes or activities early enough to avoid risks. They are used to assess QMS capacity, identify the level of training and competence, and facilitate documentation and recordkeeping. They also promote communication and professional accountability. Volume II covers the first three phases of irrigation development, their associated stages and components/subcomponents: (i) program planning and design and its three components designated as Phase I; (ii) detailed study and design work including its three stages and eleven components together with associated subcomponents designated as Phase II; and (iii) project implementation/construction comprised of three stages and twenty components designated as Phase III (Appendix B). QMS parameters for Phase I – program planning and design – include several features that contribute to successful program implementation. These features include the lessons learned from previous programs, including clear objectives and scope, program operation and implementation manuals, stakeholder engagement, resource allocation, risk assessment and mitigation, monitoring and evaluation, documentation and reporting, as well as continuous engagement and improvement. QMS parameters for Phase II – detailed study and design – include several to-do lists for successful implementation of its components and subcomponents. Phase III is the project implementation/construction phase, where the project plan and design proceed to the construction of SSIPs. It is essential to maintain control and communicate as needed during the implementation/construction of each element of the SSIP. In the usual tri-party system, the client, consultant and contractor involvement is guided by implementing the toolkit as appropriate to the specific SSIP. Volume II has two annexes: Annex I (Forms and templates for Phase I and Phase II) and Annex II (Forms and templates for Phase III). The forms and templates guide users to develop project-specific manuals relevant to each phase, stage and component of the QMS implementation process. The templates serve as starting points for developing the necessary documentation required for a QMS. They include policies, strategies, procedures, work instructions and other forms. The forms and templates are customizable to suit the specific needs of irrigation projects, implementing agents and stakeholders. Volume II and its annexes aim to provide comprehensive guidance and resources specific for voluntary use, tailored to country-specific situations for each irrigation project development phase. Volume II also provides a QMS activity review workflow chart for each phase of an irrigation project. The workflow chart serves as a quality control mechanism that tracks if the tasks and services provided are fully complete and up to standard and are: (i) following the procedures set in the terms of reference/requests for proposals, national guidelines and recognized manuals, and design standards from international organizations such as FAO, United States Bureau of Reclamation (USBR), United States Army Corps of Engineers (USACE) and JICA, technical specifications and checklists; and (ii) in compliance with the requirements and expectations of beneficiaries. It also helps improve the quality of program planning and project detailed study and design deliveries that form pertinent parts in the development process of irrigation projects. More importantly, the workflow provides a link to indicative standards and guidelines for further technical details, requirements and references. Volume II further contains proposed institutional arrangements for the implementation of the QMS initiative by focal countries. These arrangements include a generic organogram, human resources requirements and job descriptions for key positions within the proposed QMS implementation team. The concept of institutionalizing QMS activities refers to the integration of these activities into the organizational culture and structure, making them an integral part of daily operations. By institutionalizing QMS practices, implementing agents and organizations aim to ensure that quality management becomes embedded in their core values and is consistently applied throughout all levels and functions. The importance of institutionalizing QMS activities was given emphasis for effective use and to establish ownership of the QMS activities so that QMS services can have legal grounds that enable the enforcement of policies, laws and regulations. In response to such requirements, the toolkit proposes institutional organograms specific to each focal country and human resources requirements, including annotated job descriptions for the proposed organogram. The context of institutionalization is focused on streamlining QMS activities within the existing government institutions hosting the development of SSIPs. To this end, it is believed that the toolkit will have a principal role in mainstreaming QMS activities within the public institutions, which in turn will ensure quality in the development process of SSIPs. 10 11 Irrigation Infrastructure Quality Management System Toolkit for Sub-Saharan Africa Using Ethiopia, Kenya and Uganda as a Case Study: Technical Report In addition to the toolkit serving a range of irrigation practitioners to integrate quality management systems in implementing SSIPs, the initiative has the primary objective of institutionalizing QMS activities so they can be fully developed and implemented by the government institutions hosting and controlling the development of SSIPs. 3.3 Webpage Development and Access to Users In the toolkit, various resources are referred to. The resources are detailed references for both Volume I and Volume II. A user-friendly webpage is developed to provide access to these resources. While more is to be added, the resources that are currently uploaded on this webpage are arranged in the folders listed below. • ASTM Standards – concrete • Embankment dams • FAO irrigation manuals • Technical guidelines in 11 volumes: JICA and OIDA (2014) • Miscellaneous • National policy and strategy documents (Ethiopia, Kenya and Uganda) • National SSIP guidelines (Ethiopia, Kenya, Uganda and SSA) • Arranged references used during Delivery-2 (D2) • USACE manuals • USBR design standards • USDA-NRCS1 national engineering handbooks • Final draft version of D2 (unpublished) The above list of references provides comprehensive information on the QMS parameters, methodologies, standards and best practices to consider in the irrigation sector. 3.4 Capacity Building For effective implementation of the toolkit, capacity building of both the implementing organizations and individual practitioners is required. The implementing organization, through its senior management and leaders, will provide its commitment to the institution of a QMS, establish and communicate the quality policy, ensure that quality objectives are established, communicate the importance of a QMS for improved SSIP development, determine and provide necessary resources (particularly well-trained human resources) and ensure that they are adequate, ensure a good quality working environment for the employees in the organization and assure that appropriate communication processes are established within the organization. The performance of the QMS is also the responsibility of every person involved in all activities related to irrigation development. The practitioners who are involved in the development of SSIPs in the focal countries must have the necessary awareness, competence and training on the toolkit for its appropriate use. Consistent and predictable results are achieved when activities in all the development phases are understood and managed as interrelated processes that function as a coherent system. The implementing agencies, particularly the ministries, should prepare a communication and training program to promote awareness of the QMS and organize training and workshops needed to implement the QMS. The training should be targeted to develop the skills and competence of the practitioners to make them more effective and efficient in applying the toolkit. Practitioners assigned to specific tasks should be qualified based on appropriate education, training and experience. The training should be tailored to their level of use of the toolkit. It is important to evaluate the effectiveness of the training periodically by observing individual performance and checking the accuracy of their work and results. While continuous capacity building training needs to be arranged by the respective focal countries, introductory training on the use of the toolkit was provided for selected users from the three focal countries. The training was given to a total of 90 practitioners (30 participants from each country). 1 United States Department of Agriculture-Natural Resources Conservation Service 10 11 Irrigation Infrastructure Quality Management System Toolkit for Sub-Saharan Africa Using Ethiopia, Kenya and Uganda as a Case Study: Technical Report 4. Message to Users This QMS toolkit is aimed at addressing the quality-related challenges of implementing SSIPs in SSA countries. It is an important document that outlines the development processes and key parameters required to assure and control the quality of implementing SSIPs. The toolkit binds the inputs and outputs in the development phases to foster consistent operations and facilitate continual quality improvement. If you are working in these countries, your adherence to the toolkit is considered a condition for successful SSIP development. Currently, this toolkit is intended to be used voluntarily by public agents from relevant ministries and governments, practitioners, contractors and consulting firms, as well as international partners involved in SSIP development in the focal countries. The use of this toolkit should, therefore, be with the understanding that it will eventually scale up to the rest of the SSA countries following its performance testing in the three selected countries. Finally, the toolkit will help you develop QMS procedures that enable you and your organization to plan, design and implement irrigation projects and meet the required engineering quality standards. It also provides guidance on how to apply QC and QA procedures (including the methodologies, design and reports). This, in turn, will contribute to increasing the capacity and efficiency of your organization in implementing specific projects within the scope of application. The toolkit is an indicative quality management tool and is subject to improvement. We thank you for using the toolkit and we will appreciate your constructive input to enhance the document. 12 13 Irrigation Infrastructure Quality Management System Toolkit for Sub-Saharan Africa Using Ethiopia, Kenya and Uganda as a Case Study: Technical Report References AU (African Union). 2020. Framework for irrigation development and agricultural water management in Africa. Addis Ababa, Ethiopia: African Union. 38p. Berhe, G.T.; Baartman, J.E.M.; Veldwisch, G.J.; Grum, B.; Ritsema, C.J. 2022. Irrigation development and management practices in Ethiopia: A systematic review on existing problems, sustainability issues and future directions. Agricultural Water Management 274: 107959. ERA (Ethiopian Roads Authority). 2012. Quality manuals. 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Sustainable smallholder irrigation development and management in semi-arid lands project (SIDEMAN-SAL): Final report – Volume 1. Nairobi, Kenya: Ministry of Water and Irrigation, Republic of Kenya. 276p. JICA; OIDA (Oromia Irrigation Development Authority). 2014. Construction control manual. The Project for Capacity Building in Irrigation Development (CBID), Japan International Cooperation Agency (JICA). MAAIF (Ministry of Agriculture, Animal Industry and Fisheries). 2020. Technical guideline for small gravity irrigation schemes in Uganda. Entebbe, Uganda: Ministry of Agriculture, Animal Industry and Fisheries, Government of the Republic of Uganda. MAAIF; MoWE (Ministry of Water and Environment). 2017. National Irrigation Policy. Entebbe, Uganda: Ministry of Agriculture, Animal Industry and Fisheries; Kampala, Uganda: Ministry of Water and Environment. 35p. MoA (Ministry of Agriculture). 2018. National guidelines for small scale irrigation development. 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Addis Ababa, Ethiopia: Ministry of Water Resources (MoWR), Federal Democratic Republic of Ethiopia. 37p. Available at https://www.waterethiopia.org/wp-content/uploads/2014/03/ ETHIOPIAN-WATER-SECTOR-STRATEGY.pdf (accessed on June 28, 2024). 12 13 Irrigation Infrastructure Quality Management System Toolkit for Sub-Saharan Africa Using Ethiopia, Kenya and Uganda as a Case Study: Technical Report MoWR. 2001b. Ethiopian Water Sector Policy. Addis Ababa, Ethiopia: Ministry of Water Resources (MoWR), Federal Democratic Republic of Ethiopia. 40p. Available at https://faolex.fao.org/docs/pdf/eth180677.pdf (accessed on June 28, 2024). MoWSI (Ministry of Water, Sanitation and Irrigation). 2017. National Irrigation Policy 2017. Nairobi, Kenya: Ministry of Water, Sanitation and Irrigation, Republic of Kenya. 98p. Available at https://africacheck.org/sites/default/files/media/documents/2022-08/ National%20Irrigation%20Policy%20-Kenya.pdf (accessed on June 28, 2024). MoWSI. 2019. 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Manual: Participatory rapid diagnosis and action planning for irrigated agricultural systems (PRDA). Rome, Italy: International programme for technology and research in irrigation and drainage; Colombo, Sri Lanka: International Water Management Institute; Rome, Italy: Food and Agriculture Organization of the United Nations. van Reeuwijk, L.P.; Houba, V.J.G. 1998. Guidelines for quality management in soil and plant laboratories. FAO Soils Bulletin 74. Wageningen, the Netherlands: International Soil Reference and Information Centre (ISRIC); Rome, Italy: Food and Agriculture Organization of the United Nations (FAO). Wanyama, J.; Ssegane, H.; Kisekka, I.; Komakech, A.; Banadda, N.; Zziwa, A.;...Kiyimba, F.L. 2017. Irrigation development in Uganda: Constraints, lessons learned, and future perspectives. Journal of Irrigation and Drainage Engineering 143(5): 04017003. http://dx.doi.org/10.1061/(ASCE)IR.1943-4774.0001159 14 15 Irrigation Infrastructure Quality Management System Toolkit for Sub-Saharan Africa Using Ethiopia, Kenya and Uganda as a Case Study: Technical Report Appendix A. List of People Who Participated in the Focus Group Discussion during the Uganda Visit Name of participant Organization Email Georg Andiego Food and Agriculture Organization of the george.andiego@fao.org United Nations (FAO) Engineer Dominic Banaga Ministry of Agriculture, Animal Industry and dmucunguzi@yahoo.com Mucunguzi Fisheries (MAAIF) Orlando Allan MAAIF ollandoallan@yahoo.com Engineer Ronald Kato Kayizzi Ministry of Water and Environment (MWE) kayron@engineer.com Amare Haileslassie International Water Management Institute (IWMI) a.haileslassie@cgiar.org Melkamu Amare Amare & Families Consulting Engineers (ABCE) PLC melkamuamare@yahoo.com Dennis Besigye FAO dennis.besigye@fao.org 14 15 Irrigation Infrastructure Quality Management System Toolkit for Sub-Saharan Africa Using Ethiopia, Kenya and Uganda as a Case Study: Technical Report Appendix B. List of People Who Participated in the Focus Group Discussion during the Kenya Visit Name of participant Organization Email Maurice Opondo Ministry of Water, Sanitation and Irrigation, mauropendo@gmail.com State Department for Irrigation (MWSI-SDI) Daniel Odero MWSI-SDI dodero@irrigation.kenya.go.ke Victor Muriithi Food and Agriculture Organization of the victor.muriithi@fao.org United Nations (FAO), Kenya Melkamu Amare Amare & Families Consulting Engineers melkamuamare@yahoo.com (ABCE) PLC Kasouo Shimazalic Japan International Cooperation Agency (JICA) Amare Haileslassie International Water Management a.haileslassie@cgiar.org Institute (IWMI) Morris Makan MWSI/SDI makan2000@yahoo.com Allan Abwoga MWSI/SDI acabwaga@yahoo.com Esther Musyoka MWSI/SDI etheryorka@irrigationkenya.go.ke Leonard Nderi Small-scale Irrigation and Value Addition nderimugendi@yahoo.com Project (SIVAP) Eng Stephan National Irrigation Authority (NIA) Kenedy Ouma MWSI/SDI Clinton Waswam MWSI/SDI cwaswa@irrigationkenya.go.ke 16 17 Irrigation Infrastructure Quality Management System Toolkit for Sub-Saharan Africa Using Ethiopia, Kenya and Uganda as a Case Study: Technical Report Appendix C. List of People Who Participated in the Focus Group Discussions during the Ethiopia Visit Amhara Region Name of participant Organization Email Melkamu Amare Amare & Families Consulting melkamuamare@yahoo.com Engineers (ABCE) PLC Amerega Ministry of Agriculture Minyahel Gebeyaw Ministry of Irrigation and Lowlands mgminyahel@gmail.com Dawit Asmare Amhara Bureau of Irrigation and dawitasmare1@gmail.com Lowland Area Development Mayet Feleke Tisisat Irrigation felekemayet@gmail.com Tilahun Almaw Amhara Regional Bureau of Agriculture tilayirdi@yahoo.com Melak Desalegn Abay Construction PLC melakdesalegn@gmail.com Gashaw Mengstie Lalibela Study, Design & Supervision Works PLC gmengstie@gmail.com Belachew Kindie Lalibela Study, Design & Supervision Works PLC belach98@gmail.com Amanuel Gebeyehu Amhara Bureau of Irrigation and Lowland amangeb83@gmail.com Area Development Asfaw Tamene Amhara Bureau of Irrigation and Lowland atamene2005@gmail.com Area Development Surafel Abelnen Amhara Bureau of Irrigation and Lowland surafelb5.gmail.com Area Development 16 17 Irrigation Infrastructure Quality Management System Toolkit for Sub-Saharan Africa Using Ethiopia, Kenya and Uganda as a Case Study: Technical Report Southern Nations, Nationalities, and Peoples' Region (SNNPR) Name of participant Organization Email Melkamu Amare Amare & Families Consulting Engineers melkamuamare@yahoo.com (ABCE) PLC Amerega Ministry of Agriculture Minyahel Gebeyaw Ministry of Irrigation and Lowlands mgminyahel@gmail.com Kassaye Tekle SNNP Irrigation Development & harotkassaye@gmail.com Administration Agency Kassahun W. Giorgis SNNP Irrigation Development & wkassahun153@gmail.com Administration Agency Assefa Haile SNNP Irrigation Development & asefahaile056@gmail.com Administration Agency Feysel Mehdi SNNP Irrigation Development & feyselmehi12@gmail.com Administration Agency Moltot Elias SNNP Agriculture Agency moelhib2012@gmail.com Ashenafi Gobezayehu Somali Design and Supervision Works ashegobe@gmail.com Enterprise (SDSWE) Wendu Wedro South Water Works Construction wenduwedro@gmail.com Enterprise (SWWCE) Erimiyas Mengistu South Water Works Construction Enterprise (SWWCE) 18 19 Irrigation Infrastructure Quality Management System Toolkit for Sub-Saharan Africa Using Ethiopia, Kenya and Uganda as a Case Study: Technical Report Appendix D. Project Development Phases, Stages, Components and Subcomponents Phase, Stage, Component, Subcomponent Coding SSIP Development: Phases-Stages-Components-Subcomponents I Phase I: Program Planning and Design Phase I-1 Component I-0-1: Program appraisal and design I-2 Component I-0-2: Program planning, scoping and definition of work and requirements I-3 Component I-0-3: Preparation of program implementation and operation manuals II Phase II: Detailed Study and Design Phase II-1 Stage II-1: Project planning, scoping and inception stage II-1-1 Component II-1-1: Project identification and definition of variants II-1-2 Component II-1-2: Project scoping and planning II-1-3 Component II-1-3: Establishment of possible project alternatives/Setting of alternatives II-1-4 Component II-1-4: Project planning, scoping and inception stage report production II-2 Stage II-2: Feasibility studies and preliminary design stage II-2-1 Component II-2-1: Surveying, GIS/RS and AutoCAD/mapping services II-2-2 Component II-2-2: Climate, water resources and engineering hydrology studies II-2-3 Component II-2-3: Geotechnical investigations and engineering geology studies II-2-4 Component II-2-4: Preliminary engineering design for selected alternatives II-2-5 Component II-2-5: Preliminary irrigation design for screened alternatives II-2-5-1 Subcomponent II-2-5-1: Irrigation and drainage system preliminary design II-2-5-2 Subcomponent II-2-5-2: Irrigation and drainage structure preliminary design II-2-6 Component II-2-6: Agriculture and irrigation agronomy feasibility studies II-2-7 Component II-2-7: Agricultural soil investigation and land suitability evaluation II-2-7-1 Subcomponent II-2-7-1: Agricultural soil investigation and soil mapping studies II-2-7-2 Subcomponent II-2-7-2: Land suitability evaluation and suitability mapping studies II-2-8 Component II-2-8: Watershed management and engineering II-2-9 Component II-2-9: Environmental and social impact analysis II-2-10 Component II-2-10: Socioeconomic/gender investigations and economic/financial analysis II-2-10-1 Subcomponent II-2-10-1: Socioeconomic investigations/feasibility studies for screened alternatives II-2-10-2 Subcomponent II-2-10-2: Preliminary economic/financial analysis for selected alternatives II-2-11 Component II-2-11: Book of drawings for preliminary design work II-3 Stage II-3: Detailed design and tender document preparation stage II-3-1 Component II-3-1: Surveying, GIS/RS and AutoCAD/mapping for selected alternative II-3-2 Component II-3-2: Water resources and engineering hydrology studies for selected alternative II-3-3 Component II-3-3: Geotechnical investigations and engineering geology studies for selected alternative II-3-4 Component II-3-4: Headwork engineering detailed design for selected alternative II-3-5 Component II 3-5: Detailed irrigation design for selected alternative II-3-5-1 Subcomponent II-3-5-1: Detailed irrigation and drainage system design for selected alternative II-3-5-2 Subcomponent II-3-5-2: Detailed irrigation and drainage structure design for selected alternative II-3-10 Component II-3-10: Detailed economic/financial analysis II-3-10-2 Subcomponent II-3-10-2: Detailed economic/financial analysis for selected alternative 18 19 Irrigation Infrastructure Quality Management System Toolkit for Sub-Saharan Africa Using Ethiopia, Kenya and Uganda as a Case Study: Technical Report Phase, Stage, Component, Subcomponent Coding SSIP Development: Phases-Stages-Components-Subcomponents II-3-11 Component II-3-11: Book of drawings for detailed design work II-3-11-1 Subcomponent II-3-11-1: Detailed headworks engineering design II-3-11-2 Subcomponent II-3-11-2: Detailed irrigation design II-3-11-3 Subcomponent II-3-11-3: Geotechnical and engineering geology II-3-11-4 Subcomponent II-2-11-4: Agricultural soil investigation maps II-3-11-5 Subcomponent II-2-11-5: Land and crop suitability evaluation maps II-3-12 Component II-3-12: Formation/Strengthening of IWUAs and preparation of O&M manual for selected alternative II-3-12-1 Component II-3-12-1: Establishment of IWUA and project management II-3-12-2 Component II-3-12-2: Preparation of O&M manual for headwork and irrigation design II-3-13 Component II-3-13: Preparation of tender documents for selected alternative II-3-13-1 Subcomponent II-3-13-1: Bill of quantities II-3-13-2 Subcomponent II-3-13-2: Technical specifications II-3-13-3 Subcomponent II-3-13-3: Bid document and tender drawings III Phase III: Implementation and Construction Phase III-1 Stage III-1: Pre-construction stage III-1-1 Component III-1-1: Selection of supervising consultant III-1-2 Component III-1-2: Selection of contractor(s) (Consulting firm involved) III-1-3 Component III-1-3: Document review and sensitization of contractors’ personnel III-1-4 Component III-1-4: Site handover III-1-5 Component III-1-5: Preparation of detailed implementation schedule III-1-6 Component III-1-6: Establishment of residence/camp, office and storage facilities III-1-7 Component III-1-7: Establishment of project implementation schedule, including defect liability periods III-1-8 Component III-1-8: Signing of memorandum of understanding and implementation agreement with IWUAs and stakeholders III-1-9 Component III-1-9: Mobilization of contractors’ staff, equipment and machinery III-2 Stage III-2: Routine construction stage III-2-1 Component III-2-1: Setting out requirements specific to each structure and project component III-2-2 Component III-2-2: Performance of routine construction as per the implementation schedule III-2-3 Component III-2-3: Preparation of as-built drawings, take-off sheets and payment certificates III-2-4 Component III-2-4: Preparation of technical specifications for as-built drawings and take-off sheets III-2-5 Component III-2-5: Compilation of documents such as as-built drawings, take-off sheets, payment certificates and technical specifications III-3 Stage III-3: Preparation of safe exit strategy stage III-3-1 Component III-3-1: Training of IWUAs III-3-2 Component III-3-2: Training of project management and extension/development staff III-3-3 Component III-3-3: Preparation of final O&M manual specific to the project as constructed III-3-4 Component III-3-4: Preparation of certificates of training for IWUAs and project completion report III-3-5 Component III-3-5: Preparation of official project handover ceremony and setting of defect liability period III-2-6 Component III-2-6: Conducting project handover ceremony for two-stage handing over activities Notes: SSIP - Small-scale irrigation project; GIS - Geographic Information System; RS - Remote sensing; IWUA - Irrigation Water Users Association; O&M - Operation and maintenance International Water Management Institute (IWMI) Headquarters 127 Sunil Mawatha, Pelawatta Battaramulla, Sri Lanka Mailing address: P. O. Box 2075 Colombo, Sri Lanka Tel: +94 11 2880000 Fax: +94 11 2786854 Email: iwmi@cgiar.org www.iwmi.org The International Water Management Institute (IWMI) is an international, research-for-development organization that works with governments, civil society and the private sector to solve water problems in developing countries and scale up solutions. Through partnership, IWMI combines research on the sustainable use of water and land resources, knowledge services and products with capacity strengthening, dialogue and policy analysis to support implementation of water management solutions for agriculture, ecosystems, climate change and inclusive economic growth. Headquartered in Colombo, Sri Lanka, IWMI is a CGIAR Research Center with offices in 15 countries and a global network of scientists operating in more than 55 countries.